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FORMER PORTFOLIO MANAGER AT HEDGE FUND INVESTMENT ADVISOR DIAMONDBACK CAPITAL MANAGEMENT SUED BY SEC
1 Sep 2011, 5:55 am
Enforcement attorneys at the Securities and Exchange Commission (“SEC”) filed a civil action against a former portfolio manager at the hedge fund investment adviser Diamondback Capital Management, LLC. [read post]
14 Oct 2014, 1:21 pm
American Capital Ltd., of Bethesda, a publicly traded private equity firm and asset manager, announced this week that its portfolio company Unwired Holdings Inc. was sold to Delphi Automotive PLC, a supplier of automotive technologies, enabling American Capital to realize a gain of $70 million for its investment. [read post]
5 Sep 2019, 7:21 am
The post Did You Buy GPB Capital From SagePoint Financial Inc.? [read post]
28 Apr 2021, 5:33 am
According to publicly available records, the firm is facing a $1 million customer complaint over a former broker’s recommendations to a client to invest in three GPB Capital funds: GPB Holdings II, GPB Automotive Portfolio, and GPB Waste Management. [read post]
12 Jun 2023, 10:54 am
In his new role, Kris will be responsible for leading the capital markets group, working with our portfolio managers, and developing new investment strategies and products aligned with the company's long-term [...] [read post]
13 Apr 2020, 9:52 am
The post Kalos Capital Inc. [read post]
13 Feb 2012, 9:44 am
Whitman, the head portfolio manager at Whitman Capital, LLC, related to alleged insider trading. [read post]
3 Aug 2009, 2:58 pm
According to the article, firms that sold either one or both of the investments include American Portfolios Financial Services Inc., Capwest Securities Inc., GunnAllen Financial Inc., J.P. [read post]
19 May 2017, 3:00 am
I did a quick look at the top holdings of RGAFX and CHTVX from our portfolio and sure enough Alphabet, Inc. [read post]
8 Jul 2019, 4:48 pm
Press Announcement Capital Southwest Corporation (“Capital Southwest”) (CSWC), an internally managed business development company focused on providing flexible financing solutions to support the acquisition and growth of middle market businesses, announced today [July 8, 2019] that it led a recapitalization of Driven, Inc. [read post]
5 Mar 2019, 9:56 am
Among the broker-dealers that sold these investments were Advisor Group firms Sagepoint Financial Inc, Royal Alliance Associates, Inc., Woodbury Financial Services, Inc., and FSC Securities Corp. [read post]
20 Aug 2018, 3:47 pm
Up to 60 brokerage firms have sold the GPB funds, including Advisor Group broker-dealers Sagepoint Financial Inc., FSC Securities Corp., Royal Alliance Associates, Inc., and Woodbury Financial Services Inc. [read post]
23 Oct 2017, 6:16 am
Index investing has profoundly changed the way investors seek returns, manage risk, and build portfolios. [read post]
21 Aug 2013, 4:33 am
In 2007, two Sun Capital Investments funds invested in Scott Brass, Inc., which went bankrupt in 2008. [read post]
2 Jul 2019, 7:42 am
According to our investigation Royal Alliance Associates, Inc. [read post]
9 May 2019, 1:08 pm
Stuart Wernick, managing director at Walker & Dunlop, worked in conjunction with Giryes Consulting & Research and Barak Capital, which underwrote, marketed, and issued the bonds. [read post]
3 May 2018, 4:40 pm
Investors in Griffin Capital Essential Asset REIT, Inc. [read post]
15 Oct 2019, 4:58 am
According to our investigation Kalos Capital, Inc. [read post]
5 Aug 2019, 10:38 am
GPB Private Placements FundsGBP Capital Holdings is an alternative asset manager that invests in waste management and car dealerships. [read post]
12 Feb 2020, 1:43 pm
Silver Law Group has filed a FINRA arbitration claim against Kalos Capital, Inc. [read post]
